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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-07-07
CA RA APPROVED 2009-08-27
  • TX RA
    APPROVED_RES
    Since 2026-07-07
  • CA RA
    APPROVED
    Since 2009-08-27

Branch Locations

31 W. Stuart Avenue Suite 200, Redlands, CA 92374 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Redlands CA 08/2009 Present
  • 08/2009 → Present
    Stifel Nicolaus & Co Inc
    Redlands, CA
Previous Registrations
Other Businesses

H.M. BRADLEY PROPERTIES, LLC; 28817 HARWICK DRIVE HIGHLAND CA 92346; MANAGE MINERAL INTERESTS; PRESIDENT; ANNUAL FILINGS AND UPDATES TO MEMBERS; MANAGES PORTFOLIO, PAYS TAXES & BILLS, PROCURE LEASES, AND HANDLES REREGISTRATION FOR HEIRS; AFFILIATION STARTED 12/31/2012; 12 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-03-26
  • S63 Uniform Securities Agent State Law Examination
    1984-03-26
Designations
Other Names
  • Mary Bradley Carruthers

View on SEC IAPD

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